Current Report Filing (8-k)
February 10 2020 - 8:00AM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
Date of report (Date of earliest event
reported): February 6, 2020
PHIO PHARMACEUTICALS CORP.
(Exact name of registrant as specified
in its charter)
Delaware
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001-36304
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45-3215903
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(State or other jurisdiction
of incorporation or organization)
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(Commission
File Number)
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(I.R.S. Employer
Identification No.)
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257 Simarano Drive, Suite 101
Marlborough, Massachusetts 01752
(Address of Principal Executive Offices)
(Zip Code)
Registrant’s telephone number,
including area code: (508) 767-3861
Check the appropriate box below if the Form 8-K filing is intended
to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction
A.2. below):
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Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
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☐
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Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
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☐
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Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
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Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Securities registered pursuant to Section 12(b) of the Act:
Title of each class of securities:
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Trading Symbol(s):
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Name of exchange on which registered:
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Common Stock, par value $0.0001
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PHIO
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The Nasdaq Capital Market
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Securities registered pursuant to Section 12(g) of the Act:
None
Indicate by check mark whether the registrant is an emerging
growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities
Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the
registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards
provided pursuant to Section 13(a) of the Exchange Act. ☐
On February 6, 2020, Phio Pharmaceuticals
Corp. (the “Company”) received written notice (the “Notification Letter”) from The Nasdaq Stock Market
LLC notifying the Company that it had regained compliance with the minimum bid price requirement set forth in Nasdaq Listing Rule
5550(a)(2) for continued listing on The Nasdaq Capital Market. The Notification Letter was sent following the implementation of
a one-for-fifty-five reverse split of the Company’s common stock (the “Reverse Split”), which became effective
on January 15, 2020. Additional information regarding the Reverse Split can be found in the Company’s Current Report on Form
8-K filed on January 14, 2020.
* * *
SIGNATURES
Pursuant to the requirements of the Securities
Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Date: February 10, 2020
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PHIO PHARMACEUTICALS CORP.
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By:
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/s/ Gerrit Dispersyn
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Gerrit Dispersyn
President and Chief Executive Officer
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